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Technical Report No. 52
T'!O TYPES OF CONVENTION IN
INDIRECT SPEECH ACTS
J. L. Morgan
University of Illinois at Urbana-Champaign
July 1977
Center for the Study of Reading
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UNIVERSITY OF ILLINOIS
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Technical Report No. 52
T'0 TYPES OF CONVENTION IN
INDIRECT SPEECH ACTS
J. L. Morgan
University of Illinois at Urbana-Champaign
July 1977
University of Illinois
at Urbana-Champaign
1005 West Nevada Street
Urbana, Illinois 61801
Bolt Beranek and Newman Inc.
50 Moulton Street
Cambridge, Massachusetts 02138
The research reported herein was supported in part by the National
Institute of Education under Contract No. MS-NIE-C-400-76-Ol16 and
Grant No. HEW-NIE-G-74/-0007.
Indirect Speech Acts
1
Introduction
In this paper I want to take up the problem of "indirect speech acts",
as exemplified by the infamous case, "can you pass the salt?", with the goal
of reaching an understanding of its apparently paradoxical nature.
In con-
sidering the competing analyses of Gordon and Lakoff (1975), Sadock (1974)
and Searle (1975), my initial inclination was to reject Searle's discussion
as missing the point, in favor of one of the other two.
But I have gradually
come around to Searle's position; or perhaps I have only constructed a misinterpretation of it that appeals to me.
At any rate, in this paper, I will
be attempting an elaboration of my interpretation of Searle's tantalizingly brief remarks.
I will argue for an account of "can you pass the salt" and
similar expressions which treats them as conventional but not idioms, by establishing the necessity for distinguishing two kinds of language-related
conventions:
conventions of language, that Jointly give rise to the literal
meanings of sentences; and conventions about language, that govern the use
of sentences, with their literal meanings, for certain purposes.
I will
suggest, in short, that "can you pass the salt", is indeed conventional in
some sense, but not an idiom; rather it is conventional to use it (with its
literal meaning) for certain purposes.
Part of my task will be to dissipate
the fog of initial implausibility by establishing on independent grounds the
need for this kind of convention about language.
I hope to end up with a framework that gives a reasonable picture of the
diachronic transition from indirectly conveyed to literal meaning, and allows
Indirect Speech Acts
2
the possibility of intermediate points on the natural-conventional scale.
I
will also argue, contra Searle, for the notion "conversational postulate",
which I have recently argued against in Morgan (1977).
I will proceed as follows:
first I will briefly review the nature of the
This will be
problem involved in expressions like "can you pass the salt."
followed by a discussion of the role of pragmatics in linguistics, leading up
to a discussion of "natural" as opposed to "conventional,"
then pointing out
the difference between two kinds of linguistic convention.
I will then offer
a schema for describing the less familar kind of convention, and an account
of "can you pass the salt" in terms of This kind of convention.
I will end
with a number of examples of various sub-types of conventionalization.
Statement of the Problem
Why are expressions like "can you pass the salt" a problem?
this expression is apparently paradoxical?
Why do I say
The basic fact is this:
that one
can use a sentence like "can you pass the salt" to convey a request, though
it
seems at first glance we would not want to consider the literal meaning
of the sentence to be that of a request for the salt.
Grice's (1975) notion of "conversational implicature" and accompanying
maxims offer a potential explanation for this fact (cf. Gordon and Lakoff (1975));
but how can we be sure this is the correct analysis?
In fact there are two
ways to go about giving an account of such cases, and one can construct a case
for each that has a certain amount of initial plausibility.
The first way,
which I will call the "natural" approach, is to argue that even when I make a
Indirect Speech Acts
3
request in uttering "can you pass the salt," I am using the sentence with its
literal meaning of a yes-no question; the fact that I can manage to convey
what amounts to a request by asking this yes-no question, is not a matter of
my knowledge of English, but a consequence of Grice's maxims, which are,
roughly, a set of rules for inferring the intentions behind speech acts, or
from the speaker's viewpoint, for selecting one's utterances so as to convey
one's intentions, by exploiting the maxims.
Given that the need for Grice's
maxims has been clearly demonstrated anyway, and that we can show how the request nature of "can you pass the salt" is "calculable," that is, it
can be
derived from Grice's maxims, then Occam's razor dictates that we take this as
the correct analysis, lacking strong evidence to the contrary.
Further support
might be derived from the admittedly vague intuition that it "just feels like"
one means it in its literal meaning even when using it to make a request, a
point that gains some support from the frequently noted fact that the class of
possible responses to "can you..." is Just about what one would expect from
its literal meaning.
Or one can take a conventional approach, saying that "can you pass the
salt" is an idiom that wears its history on its sleeve, as idioms often do, so
that what the expression formerly had as implicature, it now has as literal
meaning.
As a consequence, "can you pass the salt" is now genuinely ambiguous
between the literal meaning of a yes-no question and the literal meaning of a
request.
One can support such an analysis by observing first that "can you pass
the salt" has some of the grammatical marks of direct requests--the possibility of pre-verbal please, for instance--that not all cases of genuinely
indirect requests have; second that although "can you pass the salt" is
indeed calculable, it Is not in fact calculated; rather, one gets the
point more or less directly, without any Inferential processing, which Is
Indirect Speech Acts
4
what we would expect if
it
has become an idiom, thereby part of knowledge of
language; third, that "can you pass the salt" is intuitively more direct than
its apparent close paraphrases,
possible for you to-..".-",
like "are you able to.--.so" and "is
it
which do not have the grammatical properties of
direct requests like pre-verbal please, but can, nonetheless, be used to convey indirect requests; fourth, that this kind of conventionalization of indirectly conveyed meaning is in fact clearly attested, which at least increases the plausibility of the idiom approach.
For instance, as Robin Lakoff (1973)
euphemisms,
has observed, the typical history of
expressions the speaker uses to merely hint at what he wants to
avoid mentioning directly, is that they eventually take on as literal meaning
the very thing they were originally used to avoid.
One can see a clear
example of this in the expression "to go to the bathroom", which obviously
originated as a euphemism, having a literal meaning like "to transport oneself
to the bathing room", with the conversational implicature that one actually
went there with the purpose of excretion, but at the same time avoiding direct
mention of such revolting matters.
But now,
in at least some American dialects,
the implicature has been conventionalized as literal meaning,
so that "go to
the bathroom" is now an idiom with the meaning "to excrete"; speakers of these
dialects thus can say, non-metaphorically, "the dog went to the bathroom on
the living room rug".
Cole (1975)
presents a persuasive discussion of another
kind of grammaticalization of implicature,
focussing in particular on the
grammaticalization of implicature as the most reasonable treatment of the
expression let's.
Indirect Speech Acts
5
Then we have the apparent paradox that the expression "can you..." is in
some ways natural, in some ways conventional.
same time?
How can we have both at the
I will argue that the answer lies in the following quotation from
Searle:
It is by now, I hope, uncontroversial that there is a distinction
to be made between meaning and use, but what is less generally
recognized is that there can be conventions of usage that are not
meaning conventions. (p. 76)
But before exploring the idea in this quotation, I need to discuss convention
and pracmatics a bit.
Pragmatics and Linguistics
To decide between the "natural" and "conventional" approaches, it is
necessary to make clear what these terms mean.
a general discussion of pragmatics.
To do this, I must begin with
As far as I know the term was until re-
cently applied to the analysis of expressions like indexicals, whose meaning
can only be fully specified relative to context of utterance.
Recently, though,
the term has been extended to cover matters like Grice's "conversational
implicature", that are not part of the literal meaning of sentences.
As a
result, "pragmatics" may be in danger of becoming a useless catch-all term.
But there may be a grain of truth in this lumping together of conversational
implicature with the interpretation of indexicals and the like.
I think a
moment's reflection will show that there is a natural connection, and that the
problem of indexicals is naturally subsumed under the problem of the interpretation of intentions behind use of linguistic expressions.
If we mean that
a pragmatic treatment of deictic terms like here, now, and demonstrative
Indirect Speech Acts
6
pronouns should include a recapitulation of the principles we use in determining referents for these terms,
then it is clear that it is the same sort of
problem, depending on such matters of context as our interpretation of the
speaker's goals in the comnver'sation,his intention, interests, and so on.
For
example, imagine a jar of sugar with a glass lid, on which the word sugar is
painted in blue; and imagine that someone puts her fingertips just under the
letter juof the word sugar and says "what's that?"
Our answer might be, among
other things, "the letter U", the word sugar", "paint", "blue paint", "blue",
"English",
"a lid", "glass", "a glass lid", "a jar", "sugar", "a jar of sugar",
and so on, depending on our interpretation of the person's interests--is she
learning English, the use of seasoning, physics, or what?
It's clear that
there is a natural connection between an account of indexical expressions, and
the interpretation of intentions.
But there is occasional confusion, it seems
to me, on the nature of pragmatic principles, so a brief discussion of their
nature is in order.
A central question for the study of language is this:
stand what's said to them?
How do people under-
Linguistics must eventually provide at least a
partial answer to this question, by saying how much and in what ways knowledge of language per scontributes to the ability to comprehend.
It has
become fairly obvious in the past few years that a good part of comprehension
must be ascribed not to the rules of language that assign meanings to sentences
as a function of the rn-nings of the parts, but to our ability to somehow infer
what the speaker's intentions were in saying what he said, with the literal
meaning it has.
But this ability is not, in general, a strictly linguistic
Indirect Speech Acts
7
ability; in fact I think often not a linguistic ability at all, but the application to linguistic problems of very general common sense strategies for
inferring intentions behind all kinds of acts, which may or may not be different in different cultures.
And to call them rules of conversation is mis-
leading in the same way that it
is misleading to refer to rules of driving
as rules of getting to the grocery store and back.
It should be clear upon
reflection that, unless we are in solitary confinement, we spend most of our
waking hours interpreting observed events involving other people in terms of
intentions and related notions like purpose and interest; not consciously,
of course, but we do it nonetheless.
As long as we are able to do it with
ease, and to pigeon-hole these events in terms of non-threatening intentions,
the matter does not occupy our thoughts.
But if a case arises that is not
easily classified--we don't understand the intentions involved--it catches our
attention, and we may spend some effort to resolve the matter, even if the
outcome is of no consequence to
the conduct of our affairs.
For example,
if while studying in the library I notice the person at the opposite carrel
slowly and quietly removing pages from a notebook, wadding them up, and putting
them in a wastebasket, I probably would ignore him and continue my work.
But
if he repeatedly removed a sheet of paper, wadded it up, unwadded it, replaced
it in the notebook, removed it again, and so on, I would be unable to work
until
I had provided myself with an explanation of his behavior.
Less bizarre cases confront us constantly.
I open the door to find a
person standing there who holds out a package, and instantly I interpret her
Indirect Speech Acts
8
behavior as motivated by the intention that I take the package.
Many
everyday cases fit Grice's (1957) characterization of "non-natural meaning"
of an utterance:
"A meantNN something by x" is (roughly) equivalent to "A intendend the utterance of x to produce some effect in an audience
by means of the recognition of this intention." (p. 385)
For example, such everyday acts as holding open a door for somebody, or
looking daggers at somebody who is on the point of revealing a secret,
are quite analogous to meaningful utterances under Grice's characterization.
And the notion "conversational
non-linguistic acts.
implicature" can be naturally extended to
If upon being asked my opinion of a spinach souffle
I have been served, I shovel the contents of my plate into the dog's dish,
I have rendered my judgement as clearly as if
though less directly.
I had said "it's awful,"
In interpreting my action the questioner must in-
voke Grice's maxims just as if
I had responded by saying something.
In short, then, conversational pragmatics of the sort Grice discusses
is not really conversational at bottom, but the application of general
principles of interpreting acts, applied to the sub-case of communicative
acts, and more particularly verbal communicative acts.
Unless I have mis-
interpreted him, I am following Grice in this.
Well then, one might object, this is not linguistics, at least not
if we narrowly limit the subject matter of linguistics to those abilities
that are uniquely linguistic abilities.
it's not.
And the only answer is, of course
But even if we accept this narrow definition of the scope of the
Indirect Speech Acts
9
field, we are stuck with pragmatics on methodological grounds.
is now irretrievably part of linguistics.
Semantics
But our data about semantics
is not direct, but really data of comprehension.
Comprehension is demon-
strably a mixture of pragmatic and semantic matters, and introspection
supplies us no simple clue to what's semantic and what's pragmatic in a
given case.
Our only methodological tool consists of the tests for im-
plicature discussed by Grice, which Sadock (this volume) shows to be
difficult to apply.
A major problem for linguistics and psycholinguists
is the devising of reliable empirical tests for distinguishing semantic
properties from matters of implicature in comprehension.
But it must be
kept constantly in mind that pragmatic "rules" have to do not with
linguistic abilities, but with more general ones; so that if it can be
shown that a linguistic theory of meaning like Montague grammar or
generative semantics can give a unified account of semantics and pragmatics (especially if the account is in terms of formal properties of
of sentences) we should suspect that there is something wrong with the
theory, unless we want to give up the position that there is a difference
between the two.
Natural vs. Conventional
One basis of difference between semantics and pragmatics is the
distinction between conventional and natural.
kind of "information"
By "natural"
I mean that
that one can reasonably infer as (part of) what
the speaker intended to convey, but where the inference is not based
Indirect Speech Acts
10
directly on any kind of linguistic convention, but on assumptions about
what counts as rational behavior, knowledge of the world, and so on.
me give a couple of examples of natural inferences,
Let
to make clear what
I mean.
First a non-linguistic example.
door and turn the knob.
Imagine that I approach a classroom
The door does not open.
I continue turning the
knob back and forth, but the door still does not open.
A person who has
been watching me (and who I have noticed watching me, and who I observe
has seen that I have noticed him) approaches and hands me a key.
I
thank the person, insert the key in the lock on the door, unlock it, and
so on.
Now there are a number of inferences here, none of them based
on any convention save for the conventions involved in the use of "thank
you."
The inferences I have in mind are these:
the other person inferred
from my behavior that I was trying to open the door, and that I was having
no success.
Notice this is not the sort of inferrence one would want to
consider a matter of communication; it was not my intention that the person make this inference.
But the next inference is indeed communicative.
The person hands me a key, and I am justified in inferring that I am
being given the key so that I can open the door with it (thus that it is
in fact a key to the door I am trying to open).
I am justified in
assuming this in that (leaving out many steps) assuming that the person
is rational, and knowing that he has seen me vainly trying the door, and that
he knows that I know he saw me, then the most likely interpretation of his
behavior is that he is giving me the right key so that I can open the door;
Indirect Speech Acts
11
moreover, it is fairly clear that he must be aware that I am very likely
to make this inference, and he has done nothing to stop me from making it;
so he must intend for me to make it. No doubt this description will call
to the reader's mind various points in Grice (1975).
It is intended to.
Notice that in no way is there any convention involved in this inferential
chain, unless one would want to say that there is some cultural convention
like "be helpful"
involved.
At any rate, it is clear that most of the
steps in the inference are natural, rather than convention-based.
There is an inference involved in the interpretation of my use of
"thank you," on the other hand, that could be described as involving both
convention and natural inference.
The inference I have in mind is the
justified inference by the other person that in saying "thank you," I
mean to thank him for giving me the key.
The inference here is in part
conventional, in that it is based on knowledge of the English phrase
"thank you," and second on knowledge of the conventions concerning when
one thanks, and for what kind of thing.
But it also involves natural
inference in his figuring out just what it is I'm thankrng him for.
As far as communication is concerned, then, I usethq term "natural"
in a way that would be appropriately applied to meaning that is conveyed,
or at least can be conveyed, via inferences about intentions behind
communicative acts, as in the case of conversational
implicature.
In such
cases, the relation between what is said and what is conveyed as natural
meaning is not arbitrary, as it is in the case of the literal meanings of
Indirect Speech Acts
12
words, but can be reasoned out from the literal meaning taken together
with the facts surrounding the utterance (i.e.,"context").
By "conventional," on the other hand, is usually meant the relation
between linguistic form and literal meaning, which is arbitrary, a matter
of knowledge of language.
One cannot reason out from the word dog that
it is used to refer to a certain kind of animal; one just knows it
(or not), as a synchronically arbitary fact of English.
Such knowledge
is knowledge of the conventions of English, which jointly constitute all
or part of knowledge of language per se.
But as Searle points out in the passage quoted earlier, there is
another sort of language-related convention, conventions of usage:
It is by now, I hope, uncontroversial that there is a distinction to be made between meaning and use, but what is less generally
recognized is that there can be conventions of usage that are not
meaning conventions. (p. 76)
Now it is not crystal clear in this passage what Searle has in mind as
a case of "conventions of usage that are not meaning conventions," but I
think there are cases that can be perspicuously described in these terms;
in particular, conventions that are, strictly speaking, not conventions
of the language, but conventions about the language, properly considered
conventions of the culture that uses the language.
For example, just as
in our own culture it is conventional to greet someone by inquiring after
the other person's health, so I am told that in some cultures it is
conventional to greet by asking after the other person's gastronomic welfare,
Indirect Speech Acts
13
most likely (but not exclusively) by saying something like "have you eaten?",
i.e.,
its direct translation.
Now on the one hand "have you eaten?" is by
virtue of its semantics a natural way of greeting someone by conveying
concern for his well-being, given the right conditions in the culture, as
opposed to "seven is prime" or "your hair is missing"; but at the same time
it
is entirely arbitrary whether or not a given culture uses "have you
eaten?" as a conventional way of greeting.
And I think we would not want to
say even when it is a conventional greeting that the expression "have you
eaten?" means the same as "I greet you.", though indeed that kind of
linguistic change does occur now and then.
Rather, the convention in-
volved here is a cultural convention about the use of language, not part
of the language itself; though that is not to say a good language teacher
would not teach it.
Another case:
according to Webster (1968), the customary way of opening
a conversation among Eskimos is by saying (the direct translation of) "you
are obviously
___,"
where the blank is
filled according to what the
hearer is doing at the time of the utterance; thus for example "you are
obviously reading Kant" or "you are obviously skinning a seal."
Again, I
think we would not want to say that the conventional literal meaning of the
expression is merely a statement of intended effect, namely to open a conversation.
Still there is a convention of some sort here, to the effect
that it is customary or conventional to say a certain sentence and mean it
under certain circumstances, with certain purposes.
Indirect Speech Acts
14
Still another example:
according to Wolff (1966)
in Cebu culture
one does not knock at a door but says something in the way of greeting,
like "good morning."
Both ways--knocking and greeting--would seem to be
equally effective as natural ways of getting the attention of the Inhabitants and provoking them to open the door.
in Cebu culture, the other way in ours.
But one way is conventional
We might be tempted to assign
something like "request for opening" as the literal meaning, so to speak,
of the knock, since its use for the purpose is indeed conventional, and
seems not to stem from any other "meaning" associated with knocking.
But
the temptation is less great to say in the Cebu case that the expression
translated as "good morning" is ambiguous between the literal meaning of
a morning greeting and that of a request to open the door. Rather,
it
would seem more appropriate to say that there is a convention to the effect
that one announces one's presence at the door, etc., by issuing a greeting
to the inhabitants.
This is not a convention of the language, but about
its use.
In sum, then,
I am proposing that there are at least two distinct
kinds of conventions involved in speech acts:
(for example, the mfnairg.of &dg; the fat
-
conventions of the language
that In English the subject
of a passive sentence is interpreted as (roughly) patient, and so forth
and conventions of the culture about the use of the language in certain
cases (for example, the fact that to start an auto race one says "gentlemen,
start your engines" (and means it), the fact that one is expected to say
Indirect Speech Acts
15
something in the way of consolation at funerals, and so on) sometimes
(but sometimes not) with particular expression (with their meanings)
mentioned in the convention.
The former, conventions of the language, are
what make up the language, at least in part.
The latter, conventions about
the language, are a matter of culture (manners, religion, law,... ) not
knowledge of language per se.
And I propose that by looking a little at
the structure, so to speak, of this second kind of convention, we can derive first an account of the apparent paradox involved in cases like "can
you pass the salt," in which they are treated as simultaneously conventional
and natural, just as Searle says.
Second, we will see that there is a
range of possibilities for conventions intermediate between naturalness and
conventions of the language.
Third, along the way, we will construct a
plausible picture of at least one way that expressions can change their
status diachronically, by passing from the status of convention about
language to the status of convention of language.
Conventions about Language
As an initial approximation, I think conventions about language can be
considered to contain three kinds of elements:
means.
occasion, purpose, and
As the statement of means becomes more and more specific, the con-
vention approaches a convention of the language, a statement about literal
meaning.
As the connections between purpose and means become obscured,
the relation between them is ripe for reinterpretation as entirely arbitrary,
at which point the convention about the language is re-interpreted as a
convention of the language.
Indirect Speech Acts
16
As an illustration, we might consider various hypothetical versions
of a convention concerning departure salutations,proceeding from less to
more specific versions.
As a rather non-specific version, we might
start with something like a statement of occasion (which not all conventions will have),
and purpose, as in (1).
(1) Upon parting, one expresses one's regard for the other person.
Then (1) might be made more specific in a given culture by adding various
means specifications, as in (2a) or (2b).
(2a)
By expressing a concern for the welfare of the other person.
(2b)
By expressing a desire or intention to see the other person again.
These of course can in turn stand as purposes for further specification of
means.
For example, the alternatives in (3a) through (3c) might stand
as means for the purpose (2a).
(3a)
by expressing a wish for good health
(3b)
by invoking the goodwill of God toward the other person
(3c)
by expressing a wish for peace.
Each of these conventions, of course, could be made more specific, still
allowing considerable freedom in choice of utterance to satisfy the
convention, including the use of conversational implicature or literal
expression of various kinds.
Thus, for example, one might conform to
the convention jointly defined by (1),
the following:
(2a), and (3b) by uttering any of
Indirect Speech Acts
17
(4a)
May God be with you.
(4b)
God be with you.
(4c)
I pray to God that He will watch over you.
(4d)
I hope God will be good to you.
But one further type of specificity leads to a qualitative change in
the convention; namely a specification of means that includes specification
of the expression to be used in conforming to the convention, like (5)
as a further specification of the parting
convention (1) - (2a) - (3b).
(5) By saying the English sentence"God be with you."
Notice that
in the resulting convention (1) - (2a) - (3b) - (5) the form is specified
as a meaningful sentence of English, recognizable as such; so that in
saying "God be with you" as a way of conforming to the parting convention,
one is saying it and meaning it in its literal meaning, though sincerity
may be little more than pretense.
The expression is thus not on a par;
with an idiom like "Kick the bucket."
In saying something like "John
kicked the bucket," meaning he died, the word-by-word meaning of the
expression plays no role; in fact one might say that "kicked the bucket"
is said (meaning died) in spite of its original literal meaning.
But
"God be with you" is said, as a way of conforming to the greeting convention, precisely because of its literal meaning; one says it and at
least pretends to mean it (an atheist is likely to choose some other expression).
Yet it is a matter of convention that one says it (and means it,
or at least purports to mean it) under certain circumstaqces, for certain
purposes.
Indirect Speech Acts
18
There is a naturalness to the convention in that there is a natural
connective chain between the (most general) purpose (1) of the convention
and the specification of the means in terms of a particular English
sentence.
Part of the task of the language learner is to infer the nature
of this chain, that is, the purpose-meaning connections between the
9ccasici~
f utpge and the expression used.
Insofar as this chain is not
fully reconstructed, the connection becomes arbitrary to some degree; once
some arbitrariness arises, the relation is ripe for re-interpretation as
entirely arbitrary.
Thus the original convention (1) - (2a) - (3b) - (5)
through failure of language learners to fully reconstruct the occasionexpression chain, might be reinterpreted in the following ways:
(6) Upor parting, one invokes the good will of God toward the
other person by saying the English sentence "God be with you."
(7) Upon parting, one expresses one's regard for the other person
by saying the English sentence "God be with you."
(8) Upon parting, one says the English sentence "God be with you."
The most arbitrary version, of course, is (8), where the convention between occasion and,expression is stated directly, not via a purposemeans chain.
In such cases, the meaning of the literal expression no
longer plays a direct role in the convention; speakers may be aware that
the expression has a certain literal meaning, but may be entirely unaware
what that meaning has to do with parting.
Indirect Speech Acts
19
The use of the expression "break a leg" to wish a performer good luck
before a performance is an especially interesting case of a convention
about language that seems headed for eventual status of convention of
language.
I'm told that this expression originated due to the superstition
that it would be bad luck to wish someone good luck--therefore one wished a
fellow actor good luck by wishing him bad luck, i.e., a broken leg.
But
by now the choices of expression is rigidly fixed as part of the convention;
none of the plausible paraphrases below will do for the same purpose.
(9)
Fracture a tib.ia
(10)
Break your leg
(11)
I hope you break a leg
It is likely that newcomers to the theater sub-culture will 'not be aware
of the history of the expression, so that the connection between purpose
and means will be direct and arbitrary:
performer good luck in his performance,
pression is not thereby an idiom; if
before a performance,
say "break a leg."
to wish a
But the ex-
it were we would expect to find it
used as if it were an idiom whose literal meaning was "have good luck,"
as in (12) as a way of saying (13).
But the expression cannot be used
this way.
(12)
John really broke a leg last night.
(13)
John really had good luck/did well
in his performance last night.
The schema I have argued for seems to fit nicely in this case:
an occasion,
Indirect Speech Acts
20
a purpose and a means, the means specified as the utterance of a particular expression.
But the original natural connection between purpose
and means has now been lost.
Given this view of conventions about language, the language learner's
task is to discover or reconstruct the details of the connection between
occasion and purpose on the one hand, and linguistic means--the sentence
used--on the other.
In the case of the literal, non-formulaic use of
language, the connection is mediated in a natural way, with the literal
meaning of the sentence as one of the links in the connecting chain, as in
some of the parting conventions discussed earlier.
But these connections,
where they are not trivial (e.g., saying "it's raining" to convey that it's
raining), must be worked out by the language learner, whose only immediate
data are inferences in context about the occasion and/or purpose of the
utterance, and the expression employed.
It may take some time for the
language learner to fill in all the missing links in the chain.
Accordingly,
we might expect to find that children's linguistic competence has typically
more of this arbitrary connection than does an adult's.
But even in the
case of adults there will probably be interpersonal variation on some
expressions, describable in terms of the numnber of missing links in the
knowledge of use of the expression.
For example, we might find that
knowledge about Gesundheit is best captured by (14) for some adults, by
(15) or (16) for others.
Indirect Speech Acts
21
(14)
When someone sneezes, to express concern for their health, say
the German word for health, Gesundheit.
(15)
When someone sneezes, to express concern for their health,
say Gesundheit.
(16)
When someone sneezes, say Gesundheit.
The third version,
(16),
if
indeed it actually occurs,
is of a rare type;
the purpose has been entirely lost, so that the speaker knows only the
occasion of using the expression, the only purpose for saying it being
the purpose of conforming to the convention.
case is more frequent among children:
It may be that this kind of
when such-and-such happens, one is
supposed to say so-and-so.
Linguistic change arises when a speaker (or group, or entire generation
of speakers) fails in reconstructing all the links of the chain, resulting
in greater arbitrariness of the connection between purpose and expression,
and potentially leading to use of the expression in situations incompatible
with the original literal meaning of the expression.
An obvious kind of
example is the use of expletives like "for Christ's sake" by non-Christians,
or "God damn it" by atheists; but there are more interesting cases as well,
ranging from the utterance by German speakers of auf Wiedersehen to people
who one knows one will never see again , to eventual change of literal
meaning at the lexical level.
But this kind of change is inhibited when
the expression transparently has a (relevant) literal meaning.
When its
literal meaning is obscure (as in the case of Gesundheit) or becomes obscure
Indirect Speech Acts
22
due to linguistic change (notice the archaic subjunctive in "God be with
you") speakers may not recognize that the expression has a literal meaning
distinct from its purpose of use, and the connection between purpose and
form becomes arbitrary.
Thus "God be with you" eventually becomes goodby
by phonological change.
In such a case the question arises whether it is
the growing arbitrariness that makes the phonological change possible,
or the other way around; or do the two reinforce each other?
At any rate, it is clear that a distinction must be made between
conventions of language-matters of literal meaning--and conventions about
language.
And the descriptive schema I have given for the latter, in
terms of occasion-purpose-means chains, allows a plausible account of
the change from convention about to convention of language.
2
It also
gives a picture of things wherein some cases are more arbitrary than others,
in that more purpose-means links have been lost in one case than in the
other.
Now given this kind of convention, how can it be extended to cases
like "can you pass the salt"?
What's needed is a description that says
that in using "can you pass the salt" to make a request, one is using
the sentence with its literal meaning, with the intention of conveying
a request via Grice's maxims, but that in doing so one is following a
convention about language use; the convention being, roughly, to request
someone to do such-and-such indirectly, say the sentence "can you (do
such-and-such)?", with its literal sense.
My proposal, then, goes like this:
Indirect Speech Acts
23
the expression "can you..." is not an idiom, but has only the obvious
literal meaning of a question about the hearer's abilities.
3
One can
readily see how the expression could have, via Grice's maxims, the implicature of a request.
In fact it has become conventional to use the
expression in this way.
Thus speakers know not only that "can you ... "
has a certain literal meaning (a convention of language), they know also
that using "can you..." is a standard way of indirectly making a request
(a convention about language).
Both are involved in a full understanding
by the hearer of what is intended in the use of the expression.
Short-circuited Implicature
I suspect this will strike some readers as counter-intuitive, in
that the "feel" of an implicature is lacking.
One can see that a request
implicature is calculable via Grice's maxims, but the subjective reaction
is that the request nature of the speech act is conveyed without the sort
of indirect feeling we attribute to the presence of inference; the literal
meaning is in some way latent, rather than the basis for an inference.
I
think this intuition is correct, and that we need a notion of "shortcircuited" implicature to account for it. Let me choose another, clearer,
illustration to show what I mean by "short-circuited implicature."
Suppose I have a stingy friend.
One day when asked for a loan, he
replies, "Do I look like a rich man?" intending thereby the conversational
implicature of a refusal.
Now suppose my friend is not very imaginative,
and impressed by his own wit, he comes to use that sentence for refusing
Indirect Speech Acts
24
loans as a matter of habit.
Still, it is a habit of saying a certain
sentence, with its literal meaning, intending thereby to convey a refusal indirectly via Grice's maxims.
But in interpreting my friend's
utterance, I no longer have to make the inference--his habits are now part
of my background knowledge.
Upon hearing him say it in the right context,
this background knowledge tells me immediately what he is doing.
Now
suppose my friend's habit spreads, so that it is common throughout the
community to refuse loans by saying "do
I look like a rich man?"
To be
a member of a culture is to some extent to be an observer of the culture;
members will thus observe that in this community loans are commonly refused (more specifically, perhaps commonly indirectly refused) by saying,
"do I look like a rich man?" (though there may be other modes of refusal
as well).
Thus it becomes "common knowledge" in the community that people
refuse loans by saying a certain sentence, with its literal meaning, intending thereby to convey an implicature of refusal.
But the inference
of the implicature is short-circuited; armed with this common knowledge
I know more or less immediately, without calculating the inference, that
an implicature of a refusal was intended.
Nonetheless, a speaker of the
language who lacks this bit of common knowledge will understand what is
intended if he hears "do I look like a rich man?", by the original route
of conversational implicature.
Indirect Speech Acts
25
Some More' Casei
I sVspect that the reader will not yet be entirely convinced by my
(admittedly counter-intuitive) claim that an expression can be conventionalized and at the same time keep its literal meaning.
present some more examples, of two kinds:
Let me therefore
first, cases where a particu-
lar expression is part of the convention, and second, some cases where
it
is a "rule of conversation" that is conventionalized.
Cases abound where it
is conventional to use a particular form for
a particular purpose, but where the literal meaning of the expression is
still involved.
A simple example is the forms used for identifying one-
self over the telephone.
It is conventional at least in the Midwestern U.S.
to use expressions like those illustrated in (17) and (18).
(17)
This is Edith Thornton.I
(18)
Edith Thornton speaking.
On the one hand, in using these expressions one means them literally.
But
on the other hand, it is purely a matter of convention that one uses these
particular forms rather than any of (19)
through (22), which are equally
appropriate if considered on semantic grounds alone (their literal translations might well be used for this purpose in another language; (20),
for example, is used in Hebrew) but just happen not to be conventional
English means of identification over the telephone.
between (18) and (21)
The slight difference
is especially interesting as a demonstration of
how form-specific such conventions can be.
Indirect Speech Acts
26
(19)
Here is Edith Thornton.
(20)
Here is Edith Thornton speaking.
(21)
Edith Thornton is speaking.
(22)
I am Edith Thornton.
There are many cases that involve implicature,
but as a matter of
convention, so that the implicature is short-circuited.
For example,
(23) is commonly used to convey something like (24).
(23)
If you've seen one, you've seen them all.
(24)
They're all alike, so it's
a waste of time to examine them
separately.
It
is intuitively clear that (24)
could be reasoned out as an implicature
of (23); but it is now conventional to use (23) to convey (24).
Although
one has in mind the literal meaning of (23) in using it to convey (24),
the form of the expression is strictly part of the convention.
Sentences
having precisely the same literal meaning but even slightly different
form do not convey (24) with the same immediacy.
If one manages to
convey (24) by saying (25) or (26), it will be as a fresh implicature,
without the short-circuiting that accompanies the conventional form (23).
(25)
If you've seen one, you've seen all of them.
(26)
You've seen them all if you've seen one.
Below are some more cases of conventionalized implicature, where a certain expression, with its literal meaning is used more or less conventionally to convey a certain implicature:
Indirect Speech Acts
27
(cf. You can repeat that.)
(27)
You can say that again.
(28)
How many times have I told you...
(cf.
Tell me how many
times I've told you...)
(29)
It takes one to know one.
(cf.
It requires one to recog-
nize one.)
It should be pointed out that another kind of knowledge about (not
of) language can play an important part in the short-circuiting of implicature:
knowledge of previous use of an expression.
A kind of common
knowledge (not always directly related to literal meaning) about particular expressions can be exploited to bring about a conversational implicature, as in "cliches" like (30) through (33).
(30)
[Policeman to motorist] Where's the fire?
(31)
...
(32)
[Spouse to spouse] I've got a headache.
(33)
Your place or mine?
no questions asked.
But these expressions are clearly not idioms.
One uses them meaning them
literally, though their use conveys much besides the literal meaning.
In other cases it is knowledge about particulars of history of use
that is exploited for the sake of implicature.
One conveys more than
literal meaning in saying (34) through (36) by virtue of the hearer's
knowledge of well-known previous uses of these sentences.
Indirect Speech Acts
28
(34)
Am I my brother's keeper?
(35)
1 want to be alone.
(36)
I'd rather be in Philadelphia.
The hearer will recognize that these are famous lines, will conclude
reasonably that the speaker must have known he will make the historical
connection but did nothing to stop him from making it, therefore must
have intended it to be made, and so on.
The allusion, and resulting
implicature, are conveyed in the usual Gricean fashion.
Finally I come to the question of the conventionalization of rules
of conversation.
Just above I presented cases involving particular ex-
pressions and the conventionalization of their use for certain implicatures,
as in the case of "if you've seen one, you've seen them all," or the
original example, "can you pass the salt?".
I said in the latter cases
that it had become a convention about language to use this expression,
with its literal meaning, to convey an implicature of a request.
The
question now arises, can there be this kind of conventionalization of
rules of conversation?
I think there can.
For example, it is more or
less conventional to challenge the wisdom of a suggested course of action
by questioning the mental health of the suggestor, by any appropriate
linguistic means, as in
(37)
Are you crazy?
(38)
Have you lost your mind?
(39)
Are you out of your gourd?
Indirect Speech Acts
29
and so on.
Most Americans have two or three stock expressions usable as
answers to obvious questions, as in
(40)
Is the Pope Catholic?
(41)
Do bagels wear bikinis?
But for some speakers the convention does not specify a particular exIt seems
pression, and new ones are manufactured as they are needed.
that here a schema for implicature has been conventionalized:
answer
an obvious yes-no question by replying with another question whose answer
is very obvious and the same as the answer you intend to convey.
In a similar way, most speakers have a small number of expressions
usable as replies to assertions, with the implicature that the assertion
is transparently false; (42),
(42)
Yes,
for example.
and I'm Marie the Queen of Romania.
But again, for some speakers the convention specifies only a general
strategy, rather than a particular expression:
to convey that an
assertion is transparently false, reply with another assertion even more
transparently false.
Hearers unfamiliar with the convention will take
longer, having to calculate as conversational implicature what most
Americans (at least) will recognize immediately.
But it
is clear that
this conventional strategy could have arisen (and probably did arise) as
a conversational implicature that became conventionalized.
What was
formerly a matter of natural inference becomes a convention about language.
The result is the hypostaticization of a particular strategy of conversational implicature, that one might call a "conversational postulate."
In
Indirect Speech Acts
30
Morgan (1977)
I criticized Gordon and Lakoff's (1977) exposition of the
notion "conversational postulate" on the grounds that the "postulates"
they proposed had no independent status, but could be (or ought to be)
derived as consequences of general principles of conversation of the sort
proposed by Grice.
But the notion "conversation about language" as I have
argued for it here allows for an interpretation of Gordon and Lakoff's
proposal in which conversational postulates would have independent
status--namely, where implicature strategies become institutionalized as
conventions about language.
Conclusion
Here is the moral:
there is more to knowing "how to do things with
words" than just knowledge of literal meaning.
Besides knowledge of the
conventions of word meanings and the semantic
rules of combination, lan-
guage users also have knowledge about the use of particular expressions
or classes of expressions.
This second kind of knowledge sometimes in-
volves convention, but conventions about language, conventions governing
the use of meaning-bearing expressions on certain occasions, for certain
purposes.
These two kinds of knowledge are not mutually exclusive.
They
are involved simultaneously in the full understanding of many utterances.
I have left a couple of tough nuts uncracked.
First there is the
methodological problem of setting out empirical criteria by which the
linguist can determine the status of a given expression vis-a-vis the
distinctions I have discussed.
Here I have relied heavily on the reader's
Indirect Speech Acts
31
intuition that the expressions I have discussed work the way I say they do.
I also expect that psychologists will find it difficult to construct
simple relevant experiments.
Second,
I have followed hallowed linguistic tradition in carefully
avoiding saying what I meant by "convention."
Some of the things I have
called "convention" might seem more perspicuously described by phrases
like "knowledge of shared habit" or "common knowledge of the way things
are done."
I think a clearer understanding of these matters will probably
strengthen my case.
Indirect Speech Acts
32
Reference Notes
Such cases raise questions about the role of habit in this kind of
linguistic change.
For example, I have noticed in my own behavior the re-
cent annoying habit of using "see you later" when taking leave, even in
circumstances where it is clear to everyone involved that I will not see
my interlocutor later.
2As
far as I canr see, it is logically possible for there to arise
changes in the other direction as well, from convention of language to
convention about language.
But such a change would require a far more
complicated chain of events, and may well never happen.
I am ignoring other readings of "can you..." (e.g. deontic and
epistemic readings of can) that are irrelevant to the present discussion.
Given this new sense of "conversational postulatd" a' conventionalized
strategy of implicature, most of Gordon and Lakoff's analyses of. parttl
cular cases will have to be reconsidered.
For example, their analysis of
"can you..." as an instance of a conversational postulate does not mention directly any particular expression, thus predicting incorrectly that
literally synoymous expressions (like "are you able to...") should work
the same way as "can you...".
Under the analysis I presented earlier, it
is just the use of "can you..." that has been conventionalized as an Indirect request.
Synonymous expressions work as genuine implicature,
not short-circuited as with "can you...", and are thus subjectively
more indirect.
Indirect Speech Acts
33
References
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Cole, P., & Morgan, J. (Eds.),
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New York:
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Gordon, D., & Lakoff, G.
Conversational postulates.
Morgan (Eds.), Syntax and semantics (Vol. 3):
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Grice, H. P. Meaning.
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Lakoff, R. Language and woman's place.
Morgan, J.
Language and Society, 1973, 1.
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277-284.
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No. 42:
Mason, J., Osborn, J., & Rosenshine, B. A Consideration of Skill
Hierarchy Approaches to the Teaching of Reading, April 1977.
No. 43:
Collins, A., Brown, A. L., Morgan, J. L., & Brewer, W. F.
of Reading Tasks and Texts, April 1977.
Anaphora:
A Cross-Disciplinary Survey, April 1977.
A Schema-Theoretic View of Reading Compre-
Syntactic Aspects of Reading Comprehension, April 1977.
Plans and Social Actions, April 1977.
Perception,
Model-Based Versus Text-Based Reasoning,
The Analysis
No. 44:
McClure, E. Aspects of Code-Switching in the Discourse of Bilingual
Mexican-American Children, April 1977.
No. 45:
Schwartz, R. M. Relation of Context Utilization and Orthographic
Automaticity in Word Identification, May 1977.
No. 46:
Anderson, R. C., Stevens, K. C., Shifrin, Z., & Osborn, J.
tion of Word Meanings in Children, May 1977.
No. 47:
Brown, A. L. Knowing When, Where, and How to Remember:
Metacognition, June 1977.
No. 48:
Brown, A. L., & DeLoache, J. S.
July 1977.
No. 49:
Goetz, E. T. Inferences in the Comprehension of and Memory for Text,
July 1977.
No. 50:
Anderson, R. C.
July 1977.
No. 51:
Brown, A. L. Theories of Memory and the Problems of Development:
Activity, Growth, and Knowledge, July 1977.
No. 52:
Morgan, J. L.
No. 53:
Brown, A. L., Smiley, S. S., & Lawton, S. C. The Effects of Experience
on the Selection of Suitable Retrieval Cues for Studying from
Prose Passages, July 1977.
No. 54:
Fleisher, L. S., & Jenkins, J. R. Effects of Contextualized and
Decontextualized Practice Conditions on Word Recognition, July 1977.
No. 55:
Jenkins, J. R., & Larson, K. Evaluating Error Correction Procedures
for Oral Reading, August 1977.
No. 56:
Anderson, T. H., Standiford, S. N., & Alessi, S. M. Computer Assisted
Problem Solving in an Introductory Statistics Course, August 1977.
No. 57:
Barnitz, J. Interrelationship of Orthography and Phonological Structure
in Learning to Read, August 1977.
No. 58:
Mason, J. M. The Role of Strategy in Reading in the Mentally Retarded,
September 1977.
No. 59:
Mason, J. M. Reading Readiness: A Definition and Skills Hierarchy
from Preschoolers' Developing Conceptions of Print, September 1977.
No. 60:
Spiro, R. J., & Esposito, J. J. Superficial Processing of Inferences
Presented in Text, October 1977.
No. 61:
Spiro, R. J., & Smith, D. Distinguishing Sub-Types of Poor Comprehenders: Overreliance on Conceptual vs. Data-Driven Processes,
October 1977.
Instantia-
A Problem of
Skills, Plans, and Self-Regulation,
Schema-Directed Processes in Language Comprehension,
Two Types of Convention in Indirect Speech Acts, July 1977.
No. 62:
Spiro, R. J., & Rittenhouse, R. K. Attribute Clarity in Conservation
Instructions and Horizontal Decalage in Normal Hearing and Deaf
Children, October 1977.
No. 63:
Spiro, R. J., & Anderson, M. C.
Recall, October 1977.
No. 64:
Spiro, R. J., & Martin, J. E. Contextual Factors in the Recall of
Alternative Surface Structures, October 1977.
No. 65:
Brewer, W. F. Memory for the Pragmatic Implications of Sentences,
October 1977.
Theme and Subordination in Sentence